Victoria House, Harestone Valley Rd
Caterham CR3 6HY

Genistar Limited is incorporated in England and Wales,
with registered number 6315485
FCA Number 472050
Compliance code: F0683-10/18

COMPLAINT HANDLING PROCEDURE

Authorised and Regulated by the Financial Conduct Authority

1 Introduction

Genistar Limited (“Genistar” or the “Firm”) is authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom. We are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints received from complainants.

This document sets out the complaints handling procedures that we will follow in the event that you, as an investor, make a complaint.

2 Does this policy apply to you?

We will apply this policy to you if you are either a retail client or an eligible complainant. An eligible complainant is defined as a:

at the time that you refer the complaint to us.

You may also complain to us if you are a retail client, professional client or eligible counterparty (in relation to eligible counterparty business).

Please note, however, that if you are not an eligible complainant you will not be able to refer your complaint to the Financial Ombudsman Service (“FOS”) if you are not satisfied with the way we have handled your complaint.

3 How can you make a complaint?

You can make a complaint by any reasonable means – for example letter, fax, email, telephone or in person. It is free of charge to complain.

4 What we will do once we receive your compliant?

Your complaint will be referred to our Compliance Officer, Louise Skilton, as soon as possible. In the event that the Compliance Officer is involved in the subject matter of the complaint, your complaint will be referred to another director of Genistar.

We will promptly acknowledge your complaint in writing. In this acknowledgement we will provide the name and title of the person that is handling your complaint. We have given this individual the authority necessary to investigate and settle the complaint. We will also include a copy of this policy.

5 Investigating and resolving your complaint

We will investigate your complaint fairly, consistently and promptly, determine whether the complaint should be upheld, and (if appropriate) determine remedial action and / or redress. We will set out our conclusions in a final response to you. We will contact you if we require further information.

If we decide that redress is appropriate we will aim to provide you with fair compensation for any acts or omissions for which we are responsible. If you accept our offer, we will promptly provide the compensation to you.

6 Our timetable for responding to you

The length of time it takes us to provide a final outcome to your complaint may vary, depending on how complex it is. Once we have acknowledged your complaint we will keep you informed of our progress. Within eight weeks of us receiving your complaint we will send you either a final response or a written response which explains why we are not in a position to make a final response to you and when we might be expected to provide one.

If you are an eligible complainant, our response will also:

7 What if you are not happy with the outcome of your complaint?

If you are an eligible complainant and are not satisfied with the outcome of your complaint, you are able to refer your complaint to the Financial Ombudsman Service (FOS). Your rights are set out in the FOS’ leaflet Your Complaint and the Ombudsman, which we provide to you as part of the complaints process. Please remember that if you wish to refer a complaint to the FOS, you must do so within 6 months of us sending you our Final Response.

We will fully cooperate with the FOS and will promptly comply with any settlements or awards made by it.

The FOS can be contacted via the following methods:

Post:
The Financial Ombudsman Service
Exchange Tower
Harbour Exchange Square
London
E14 9SR

Telephone: 0800 023 4567 (Mon-Fri 8am to 8pm, Sat 9am to 1pm)

Email: info@financial-ombudsman.org.uk
Website: http://www.financial-ombudsman.org.uk

8 Closing complaints

We will regard your complaint as closed in the following circumstances:

9 Questions

If you have any questions about our complaints process, you can contact our Compliance Officer, Louise Skilton, in one of the following ways:

Genistar Limited
Victoria House
Harestone Valley Road
Caterham
CR3 6HY

Telephone: 020 3372 5085

Email: compliance@genistar.net